The Senior Compliance Officer will be responsible for the day-to-day management of a diverse and complex portfolio of issues that fall within the remit of the Risk & Compliance function, as allocated by the Head of Risk & Compliance and/or COLP.
The Senior Compliance Officer will report directly to the Head of Risk & Compliance.
The Senior Compliance Officer will be responsible for managing portfolios across all jurisdictions and will take the lead on Northern Ireland and Scotland activities.
The Senior Compliance Advisory Manager is responsible for ensuring that the the business Group complies with all relevant laws, regulations, and internal policies.
They will provide guidance and support to the business units to ensure compliance with applicable rules and regulations, as well as identify and mitigate compliance risks.
Our client is a leading North West-based financial wellbeing and retirement specialist, working with hundreds of businesses across the private and public sector by offering their staff financial education, guidance and regulated financial advice.
Salary/Package: Up to £40,000 (depending on experience), annual bonus, 25 days' annual leave, pension (6% employer/3% employee), PMI, study support, income protection
With support from the wider Compliance team, you will become the primary point of contact for assigned clients, developing a broad level of technical compliance knowledge with a particular focus on clients with conduct risk-related requirements.
The successful candidate will play a crucial role in providing day-to-day advisory and oversight activities, assisting in the delivery of the compliance plan, and managing compliance relationships with assigned managed clients.
Due to retirement, this role is available with an established Compliance consultancy firm which has many years' experience in this arena, with a very stable and yet, still growing, client base.
This is why this role is a great opportunity for you as the supporting departments covering technical content and compliance checking are tried, tested and established which means that you can consult with the clients, manage expectations and be confident of delivery, leading to further opportunities and growth.
Having the skills and experience to be successful in a consultancy role requires confidence that what you promise to clients, can be delivered.
My Investment Management client is looking for a Senior Compliance Manager to provide advice and guidance to the business on internal compliance matters.
Issue resolution on compliance matters
Manage trading restrictions and related activities